Raymond James

Associate

• Resolve queries from internal or external customers or suppliers by providing information on complex processes and the related policies, referring issues to others where necessary for interpretation of policy.
• Interpret data and identify possible answers.
• Advise others on how to design new processes and systems that meet professional standards.
• Work on complex administrative processes and databases to develop and test administrative procedures.
• Organize and prepare complex documents using a variety of applications.
• Build effective working relationships within the internal client organization.

Traveling Transition Support Associate

Compliance

• Execute risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches
• Detail documentation of testing in branch exam system and related work papers
• Ensure prescribed sample methodologies are used
• Use professional judgement for risk area identification
• Communicate exam findings to branch management and compliance leadership
• Provide reporting of exam findings and follow up in a timely manner
• Ensure risks and adverse trends are identified and escalated
• Maintain regular interaction with Compliance and Supervision partners
• Complete special and ad hoc reviews and projects as identified
• Provide guidance and mentoring to less-experienced members

Senior Advisor, Compliance PCG Branch Exams

Operations

• lead a team of Associates, focusing on delivering a Service 1st client experience.
• demonstrate well-rounded leadership qualities and supervisory skills coupled with a mastery of brokerage operations.
• ensure teams you lead deliver a positive Service 1st experience by monitoring interactions with clients and utilizing metrics to manage workflows.
• be the primary point of contact for onboarding new Associates and provide ongoing training to refine client interactions.
• confirm day-to-day call center staffing is adequate to respond to call volumes.
• manage your team in accordance with Raymond James’ Human Resources policies and procedures.
• partner with other home office departments to resolve client account issues and improve operational processes.
• respond to and resolve escalated situations.
• serve as an additional resource in the call center during high call volumes.
• execute client-directed trades across various product types (equities, mutual funds, options, fixed income, and alternative investments).
• reach out to clients to address important account matters and conduct routine follow up as needed.
• handle client-directed transactions such as ACH transfers, wire transactions, and journal requests regularly.
• manage a diverse range of accounts, including trust, estate, and entity accounts.
• maintain a high level of integrity and adhere to Raymond James' Code of Business Conduct & Ethics.
• work with branch and firm resources to mitigate risks.
• provide regular updates to senior management regarding team performance and challenges.
• develop and Document branch processes into Standard Operating Procedures.

Supervisor, Operations – Series 7 & 66 Required

Financial Planning and Analysis

• Responsible for building and maintaining relationships with financial advisors to generate assets within a specific territory.
• Assists with educating financial advisors on the benefits of offered products and services for their clients through individual or group meetings presentations, including branch visits, seminars and conferences/trade shows.
• Assists with developing and implementing wholesaling business plans for the territory to deliver on sales goals.
• Presents sales activities at weekly wholesaling meetings.
• Maintains wholesaling activity logs and or databases to create and maintain broker profile levels and data on current and proposed sales activity.
• Works closely with assigned internal wholesaler to deliver sales goals by identifying and fostering leads generated from referrals, ad campaigns and territory canvassing.
• Manages expense account within allotted budget.
• Performs other duties and responsibilities as assigned.

External Wholesaler

• Building and maintaining relationships with financial advisors to generate assets
• Assisting with educating financial advisors on product benefits through presentations
• Developing and implementing wholesaling business plans for the territory
• Presenting sales activities at weekly wholesaling meetings
• Maintaining wholesaling activity logs and databases

• Assists Financial Advisors and provides clients with quality service
• Services a high volume of daily interactions, including inquiries and scheduling of meetings
• Works independently and within a team to provide support
• Processes client financial transactions and expense reports
• Opens new client accounts and researches client and security information
• Ensures accuracy of client paperwork and documentation
• Prepares letters, forms, and reports
• Actively engages in training and professional development opportunities
• Performs other duties as assigned

Client Relationship Associate

Data Analyst

• transform HR and workforce data into strategic insights
• design and deliver advanced dashboards, reports, and data solutions
• partner with HR leadership to define workforce metrics
• support project delivery through high‑quality business analysis
• analyze and implement improvement initiatives
• coach less experienced team members
• troubleshoot data and system issues

People Analytics Analyst – Qlik Sense

• Partners with Financial Advisor to review clients’ current portfolio design, understand client goals, enter client data, and conduct financial analysis.
• Evaluates overall individual and employer-based retirement needs, researches various options, and recommends planning alternatives.
• Researches and provides recommendations related to risk management concerns, including insurance.
• Designs and recommends a tailored financial analysis or comprehensive financial plan for clients and prospects that meets their short and long-term financial needs and goals.
• Prepares presentations that clearly communicate the recommendations and alternatives related to the client’s financial analysis and comprehensive plan design.
• Performs detailed document reviews; analyzes client information and situations across the financial planning spectrum to develop plan.
• Researches information as necessary on a case-by-case basis and writes customized financial plan observations and recommendations for each client case.
• Prepares files for meetings with existing and new clients.
• Prepares, coordinates and follows through on any needed communication with new or existing clients.
• Continuously monitors clients’ financial situations with detail and accuracy, with the ability to look at their overall financial picture.
• Responds to client questions by telephone, email and occasional personal visits.
• Educates client on the functions of various securities markets and the principal factors that affect them.
• Provides guidance on estate planning options and techniques.
• Responds to and directs education funding questions including 529 savings plans.
• Assists with guidance on small business planning.
• Conducts research as needed related to assigned client cases, including but not limited to basic income tax questions and other legal issues requesting guidance when appropriate.
• May participate in client presentations.
• May open, transfer, and close customer accounts and maintain appropriate account records.
• May obtain and verify the client’s purchase and sale instructions, enter orders, and follow up on completion of transactions.
• Ensures firm and regulatory policies are followed within compliance standards.
• Perform other duties and responsibilities as assigned.

Financial Planning Consultant

Client Services Representative

• Acts as a liaison to Home Office associates and their direct family members
• Researches and resolves escalated issues regarding clients’ accounts
• Determines best method to ensure client satisfaction
• Follows up to ensure client satisfaction
• Communicates and coordinates with Home Office departments to resolve issues

Registered Client Service Associate

• Supports Financial advisors and their prospective and existing clients and other branch staff team members
• Communicates with assigned advisors proactively on a daily basis
• Manages client account maintenance activities
• Delivers client support including meeting preparation, running reports, and special outreach projects
• Provides high caliber service to clients by responding to inquiries and requests promptly
• Researches complex client situations and communicates with home office departments for timely resolutions
• Assists with prospective clients providing consultation and education regarding the Raymond James and Associates platform
• Coordinates /oversees the transition process for new client transition of accounts

Senior Registered Virtual Client Service Associate

Full-stack Engineer

• Analyze business requirements and problems and deliver quality technical solutions
• Develop existing applications and contribute to new applications by analyzing and identifying areas for modification and improvement
• Design and perform website/applications software tests and respond to user emails to monitor, diagnose, and correct performance issues
• Monitor, identify, and correct complex software defects to maintain fully functioning applications software
• Make recommendations for the development of new code or reuse of existing code
• May lead assigned projects, including assigning tasks, coordinating efforts, and monitoring performance
• Remains current with new technologies
• Participate in software system testing and validation procedures, programming, and documentation
• Create and maintain technical and/or user documentation to a high standard
• Clearly convey information and ideas through a variety of media to individuals or groups

Lead Engineer, HP NonStop Development

• Serve as the primary Workday reporting expert, building, testing, and maintaining advanced reports, discovery boards, dashboards, and scorecards for HR and business leaders
• Designs and builds data solutions in Workday Prism to integrate internal and external datasets for reporting and decision support
• Develop and manage dashboards covering headcount, turnover, talent acquisition, total rewards, and other key HR areas
• Deliver actionable insights identifying workforce trends, risks, and opportunities
• Develop high‑complexity Workday Composite Reports, joining multiple data sources, calculated fields, conditional logic, and multi‑line outputs.
• Build and optimize Matrix Reports used for headcount, compensation, compliance, and multi‑dimensional workforce analytics.
• Partner with key HR areas, leadership, and business stakeholders to design workforce metrics and KPIs aligned with organizational strategy
• Support strategic workforce planning initiatives, integrating reporting with scenario modeling and forecasting
• Present findings and recommendations to leadership in a clear, compelling manner to drive decision-making
• Champion HR data governance standards and reporting best practices
• Ensure compliance with regulatory and data privacy requirements (e.g., EEO, GDPR, SOX)
• Create and maintain documentation, metadata, and data dictionaries for HR reporting.
• Fulfill ongoing and ad hoc HR reporting and analysis requests in a high-volume, fast-paced environment
• Assist in developing reporting and analysis best practices and train staff in their implementation
• Contribute to exploring the development and implementation of data analysis and visualization tools (e.g., Qlik, Tableau, Visier)
• Coach and mentor less experienced associates.
• Troubleshoot system and data issues, taking ownership through resolution.
• Provide data governance direction and oversight for HR

People Analytics Manager – Workday

Consultant

• Manage a select group of retirement plan conversions
• Responsible for all aspects of plan conversions
• Drafting participant notices and service agreements
• Perform project tasks independently, and direct the efforts of others
• Anticipate client needs and formulate solutions to client issues
• Prepare and review deliverables for accuracy and quality
• Plan and participate in client conversion meetings
• Manage own personal and professional development; seek opportunities for professional growth and expansion of consulting skills and experiences

Retirement Plan Consultant – Plan Transitions, New Business

Human Resources

• Establish and lead governance frameworks to intake, assess, prioritise, and approve Workday enhancements
• Own and actively manage the pipeline and roadmap of change
• Lead complex business analysis activities
• Partner with stakeholders across HR, IT, and the business to shape and challenge requirements
• Drive end-to-end delivery of initiatives
• Identify and manage risks, issues, dependencies, and constraints
• Act as a subject matter expert in Workday and HR processes
• Define initiative vision, outcomes, and success measures
• Develop and execute stakeholder engagement strategies
• Plan and manage timelines, resources, and deliverables across multiple concurrent initiatives

Senior Manager, HR Transformation – Workday PM/BA

Insurance

• Support the One Insurance Solution Team by driving sales efforts, cultivating advisor relationships, and delivering consultative insurance solutions
• Act as a bridge between internal sales support and external field engagement, contributing to territory growth and advisor development
• Partner with senior Consultants to develop and execute territory-level sales strategies
• Proactively engage financial advisors via phone, email, and in-person meetings to promote insurance solutions
• Travel within assigned territory (25–50%) to strengthen advisor relationships and support business development efforts
• Deliver product positioning, case design guidance, and sales ideas tailored to advisor client needs
• Prepare and present illustrations, proposals, and point-of-sale materials
• Support and follow up on marketing campaigns, seminars, and advisor events
• Respond to advisor inquiries and provide advanced product and case support
• Maintain consistent activity tracking and pipeline management within CRM tools
• Collaborate with internal partners to streamline processes and improve advisor experience
• Contribute to strategic initiatives, training efforts, and continuous improvement of the sales platform